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MKS INC — Director's Dealing 2013
Jul 8, 2013
30723_dirs_2013-07-08_8429b4cf-9e18-4ed4-b9ab-dbc2ff517e19.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2013-07-03
Reporting Person: SMITH JOHN ALEXANDER (Sr. VP, ASG)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-07-03 | Common Stock | M | 4579.337 | — | Acquired | 4579.783 | Direct |
| 2013-07-03 | Common Stock | M | 4223.062 | — | Acquired | 8802.845 | Direct |
| 2013-07-03 | Common Stock | F | 2872 | $26.43 | Disposed | 5930.845 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-07-03 | Restricted Stock Unit | $ | M | 4579.337 | Disposed | Common Stock (4579.337) | Direct | |
| 2013-07-03 | Restricted Stock Unit | $ | M | 4223.062 | Disposed | Common Stock (4223.062) | Direct |
Footnotes
F1: Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
F2: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
F3: Mr. Smith resigned from the Company on July 3, 2013. Upon Mr. Smith's retirement, 100% of unvested RSUs vest per agreement with the Company, with the exception of the 2013 performance RSU which vests in 2014, subject to the Company's performance criteria.
F4: The RSUs vest in equal annual installments over three years.
F5: These RSUs are subject to the achievement of performance criteria determined in the first year of the grant and thereafter vests in equal annual installments over three years.